Katten Client Alert News Today

On February 7, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division's mission...

The Securities and Exchange Commission’s Division of Examinations noted that in fiscal year 2022, the Division examined approximately 15 percent of all registered investment advisers. The Division’s mission is to promote compliance, prevent fraud, monitor risk and inform policy.